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Pensions Bill


Pensions Bill
Part 7 — Miscellaneous and supplementary

188

 

(2)   

An order under section 279 appointing the day on which subsection (1) is to

come into force may provide—

(a)   

for all property, rights and liabilities to which the Pensions

Compensation Board is entitled or subject immediately before that day

to become property, rights and liabilities of the Board, and

5

(b)   

for any function of the Pensions Compensation Board falling to be

exercised on or after that day, or which fell to be exercised before that

day but has not been exercised, to be exercised by the Board.

(3)   

Information obtained by the Board by virtue of subsection (2) is to be treated

as “restricted information” for the purposes of sections 180 to 186 (disclosure

10

of information).

(4)   

Where the Pensions Compensation Board’s disclosure under section 114(3) of

the Pensions Act 1995 (c. 26) of information to which subsection (3) applies was

subject to any express restriction, the Board’s powers of disclosure under

sections 181 to 186, in relation to that information, are subject to the same

15

restriction.

Service of notifications etc and electronic working

261     

Service of notifications and other documents

(1)   

This section applies where provision made (in whatever terms) by or under

this Act authorises or requires—

20

(a)   

a notification to be given to a person, or

(b)   

a document of any other description (including a copy of a document)

to be sent to a person.

(2)   

The notification or document may be given to the person in question—

(a)   

by delivering it to him,

25

(b)   

by leaving it at his proper address, or

(c)   

by sending it by post to him at that address.

(3)   

The notification or document may be given or sent to a body corporate by

being given or sent to the secretary or clerk of that body.

(4)   

The notification or document may be given or sent to a firm by being given or

30

sent to —

(a)   

a partner in the firm, or

(b)   

a person having the control or management of the partnership

business.

(5)   

The notification or document may be given or sent to an unincorporated body

35

or association by being given or sent to a member of the governing body of the

body or association.

(6)   

For the purposes of this section and section 7 of the Interpretation Act 1978

(c. 30) (service of documents by post) in its application to this section, the

proper address of a person is—

40

(a)   

in the case of a body corporate, the address of the registered or

principal office of the body,

(b)   

in the case of a firm, or an unincorporated body or association, the

address of the principal office of the firm, body or association,

 

 

Pensions Bill
Part 7 — Miscellaneous and supplementary

189

 

(c)   

in the case of any person to whom the notification or other document is

given or sent in reliance on any of subsections (3) to (5), the proper

address of the body corporate, firm or (as the case may be) other body

or association in question, and

(d)   

in any other case, the last known address of the person in question.

5

(7)   

In the case of—

(a)   

a company registered outside the United Kingdom,

(b)   

a firm carrying on business outside the United Kingdom, or

(c)   

an unincorporated body or association with offices outside the United

Kingdom,

10

the references in subsection (6) to its principal office include references to its

principal office within the United Kingdom (if any).

(8)   

In this section “notification” includes notice; and references in this section to

sending a document to a person include references to making an application to

him.

15

(9)   

This section has effect subject to section 262.

262     

Notification and documents in electronic form

(1)   

This section applies where—

(a)   

section 261 authorises the giving or sending of a notification or other

document by its delivery to a particular person (“the recipient”), and

20

(b)   

the notification or other document is transmitted to the recipient—

(i)   

by means of an electronic communications network, or

(ii)   

by other means but in a form that nevertheless requires the use

of apparatus by the recipient to render it intelligible.

(2)   

The transmission has effect for the purposes of this Act as a delivery of the

25

notification or other document to the recipient, but only if the requirements

imposed by or under this section are complied with.

(3)   

Where the recipient is a relevant authority—

(a)   

it must have indicated its willingness to receive the notification or other

document in a manner mentioned in subsection (1)(b),

30

(b)   

the transmission must be made in such manner, and satisfy such other

conditions, as it may require, and

(c)   

the notification or other document must take such form as it may

require.

(4)   

Where the person making the transmission is a relevant authority, it may

35

(subject to subsection (5)) determine—

(a)   

the manner in which the transmission is made, and

(b)   

the form in which the notification or other document is transmitted.

(5)   

Where the recipient is a person other than a relevant authority—

(a)   

the recipient, or

40

(b)   

the person on whose behalf the recipient receives the notification or

other document,

   

must have indicated to the person making the transmission the recipient’s

willingness to receive notifications or documents transmitted in the form and

manner used.

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Pensions Bill
Part 7 — Miscellaneous and supplementary

190

 

(6)   

An indication given to any person for the purposes of subsection (5)—

(a)   

must be given to that person in such manner as he may require,

(b)   

may be a general indication or one that is limited to notifications or

documents of a particular description,

(c)   

must state the address to be used and must be accompanied by such

5

other information as that person requires for the making of the

transmission, and

(d)   

may be modified or withdrawn at any time by a notice given to that

person in such manner as he may require.

(7)   

An indication, requirement or determination given, imposed or made by a

10

relevant authority for the purposes of this section is to be given, imposed or

made by being published in such manner as it considers appropriate for

bringing it to the attention of the persons who, in its opinion, are likely to be

affected by it.

(8)   

Where both the recipient and the person making the transmission are relevant

15

authorities—

(a)   

subsections (3) and (4) do not apply, and

(b)   

the recipient must have indicated to the person making the

transmission the recipient’s willingness to receive notifications or

documents transmitted in the form and manner used.

20

(9)   

Subsection (8) of section 261 applies for the purposes of this section as it applies

for the purposes of that section.

(10)   

In this section, “relevant authority” means the Regulator, the Board or the

Secretary of State and in the application of this section to Northern Ireland by

virtue of section 280(2)(f)(ii) also includes the Department for Social

25

Development in Northern Ireland.

(11)   

In this section and section 263, “electronic communications network” has the

same meaning as in the Communications Act 2003 (c. 21).

263     

Timing and location of things done electronically

(1)   

The Secretary of State may by order make provision specifying, for the

30

purposes of any enactment contained in, or made under, this Act, the manner

of determining—

(a)   

the times at which things done under that enactment by means of

electronic communications networks are done, and

(b)   

the places at which such things are so done, and at which things

35

transmitted by means of such networks are received.

(2)   

The provision made under subsection (1) may include provision as to the

country or territory in which an electronic address is to be treated as located.

(3)   

An order made by the Secretary of State may also make provision about the

manner of proving in any legal proceedings—

40

(a)   

that something done by means of an electronic communications

network satisfies the requirements of an enactment contained in, or

made under, this Act for the doing of that thing, and

(b)   

the matters mentioned in subsection (1)(a) and (b).

(4)   

An order under this section may provide for such presumptions to apply

45

(whether conclusive or not) as the Secretary of State considers appropriate.

 

 

Pensions Bill
Part 7 — Miscellaneous and supplementary

191

 

General

264     

Overriding requirements

(1)   

Where any provision mentioned in subsection (2) conflicts with the provisions

of an occupational or personal pension scheme—

(a)   

the provision mentioned in subsection (2), to the extent that it conflicts,

5

overrides the provisions of the scheme, and

(b)   

the scheme has effect with such modifications as may be required in

consequence of paragraph (a).

(2)   

The provisions referred to in subsection (1) are those of—

(a)   

any order made by the Regulator under Part 1;

10

(b)   

any regulations made under section 21(7);

(c)   

Part 2 (other than Chapter 1), any subordinate legislation made under

that Part and any direction given under section 121 or 137;

(d)   

Part 3 and any order made by the Regulator under section 212;

(e)   

any regulations under section 218;

15

(f)   

sections 220 and 221, any regulations made under sections 220 to 222

and any arrangements under sections 220 and 221;

(g)   

sections 224 and 225 and any regulations under sections 224 to 226;

(h)   

sections 227 and 229;

(i)   

any regulations under section 265, 272(6) or 275(2) and any order under

20

section 279(5).

(3)   

Subsection (1) is without prejudice to section 29(1) (overriding effect of

freezing orders made by the Regulator) and section 137(9) (overriding effect of

requirement to wind up pension scheme under Part 2).

(4)   

In the case of a company to which section 221 (requirement for member-

25

nominated directors of corporate trustees) applies, where any provision

mentioned in subsection (5) conflicts with the provisions of the company’s

memorandum or articles of association—

(a)   

the provision mentioned in subsection (5), to the extent that it conflicts,

overrides the provisions of the memorandum or articles, and

30

(b)   

the memorandum or articles have effect with such modifications as

may be required in consequence of paragraph (a).

(5)   

The provisions referred to in subsection (4) are those of—

(a)   

section 221;

(b)   

any regulations made under section 221 or 222;

35

(c)   

any arrangements under section 221.

265     

Modification of this Act in relation to hybrid or multi-employer schemes

(1)   

Regulations may modify any of the provisions mentioned in subsection (2) as

it applies in relation to—

(a)   

hybrid schemes;

40

(b)   

multi-employer schemes.

(2)   

The provisions referred to in subsection (1) are those of—

(a)   

Part 1 (the Pensions Regulator),

(b)   

Part 2 (the Board of the Pension Protection Fund), other than Chapter 1,

 

 

Pensions Bill
Part 7 — Miscellaneous and supplementary

192

 

(c)   

section 218 (combined pension forecasts),

(d)   

sections 228 and 229 (pension protection), and

(e)   

sections 230 and 232 (consultation by employers).

(3)   

In this section—

   

“hybrid scheme” means an occupational pension scheme—

5

(a)   

which is not a money purchase scheme, but

(b)   

where some of the benefits that may be provided are—

(i)   

money purchase benefits attributable to voluntary

contributions of the members, or

(ii)   

other money purchase benefits; and

10

   

“multi-employer scheme” means an occupational pension scheme in

relation to which there is more than one employer.

266     

Offences by bodies corporate and partnerships

(1)   

Where an offence under this Act committed by a body corporate is proved to

have been committed with the consent or connivance of, or to be attributable

15

to any neglect on the part of, a director, manager, secretary or other similar

officer of the body, or a person purporting to act in any such capacity, he as

well as the body corporate is guilty of the offence and liable to be proceeded

against and punished accordingly.

(2)   

Where the affairs of a body corporate are managed by its members, subsection

20

(1) applies in relation to the acts and defaults of a member in connection with

his functions of management as to a director of a body corporate.

(3)   

Where an offence under this Act committed by a Scottish partnership is proved

to have been committed with the consent or connivance of, or to be attributable

to any neglect on the part of, a partner, he as well as the partnership is guilty

25

of the offence and liable to be proceeded against and punished accordingly.

267     

Admissibility of statements

(1)   

A statement made by a person in compliance with an information requirement

is admissible in evidence in any proceedings, so long as it also complies with

any requirements governing the admissibility of evidence in the circumstances

30

in question.

(2)   

But in proceedings to which this subsection applies—

(a)   

no evidence relating to the statement may be adduced, and

(b)   

no question relating to it may be asked,

   

by or on behalf of the prosecution or (as the case may be) the Regulator, unless

35

evidence relating to it is adduced, or a question relating to it is asked, in the

proceedings by or on behalf of that person.

(3)   

Subsection (2) applies to—

(a)   

criminal proceedings in which that person is charged with a relevant

offence, or

40

(b)   

proceedings as a result of which that person may be required to pay a

financial penalty under or by virtue of—

(i)   

section 168 of the Pension Schemes Act 1993 (c. 48) (breach of

regulations) or section 10 of the Pensions Act 1995 (c. 26) (civil

penalties), or

45

 

 

Pensions Bill
Part 7 — Miscellaneous and supplementary

193

 

(ii)   

any provision in force in Northern Ireland corresponding to a

provision mentioned in sub-paragraph (i).

(4)   

In this section—

   

“information requirement” means any statement made in compliance

with any duty imposed by or by virtue of—

5

(a)   

section 53 (duties of trustees or managers to provide scheme

return);

(b)   

section 59 (duty to report breaches of the law);

(c)   

section 61 (requirement to provide information to the

Regulator);

10

(d)   

section 64 (inspection of premises: powers of inspectors to

examine etc);

(e)   

section 67(2)(d) (power of inspector entering under warrant to

require a person to provide an explanation of a document);

(f)   

section 173 (information to be provided to the Board);

15

(g)   

section 174 (notices requiring provision of information to the

Board);

(h)   

section 175 (entry of premises: powers of appointed persons to

examine etc);

(i)   

section 177(2)(d) (power of inspector entering under warrant to

20

require a person to provide an explanation of a document);

(j)   

section 192 (power to make order enabling PPF Ombudsman to

obtain information, documents etc);

(k)   

section 196 or 197 (disclosure of information on references made

to PPF Ombudsman);

25

(l)   

section 209 (failure to make payments in accordance with

schedule of contributions);

(m)   

paragraph 19 of Schedule 1 (power to make regulations

enabling Regulator to summon persons to give evidence before

it);

30

(n)   

paragraph 11 of Schedule 4 (the Pensions Regulator Tribunal:

evidence);

   

“relevant offence” means any offence other than one under—

(a)   

section 66 (neglect or refusal to provide information etc to the

Regulator);

35

(b)   

section 69 (providing false or misleading information to the

Regulator);

(c)   

section 176 (neglect or refusal to produce information etc to the

Board);

(d)   

section 178 (providing false or misleading information to the

40

Board);

(e)   

any provision in force in Northern Ireland corresponding to a

provision mentioned in paragraphs (a) to (d);

(f)   

section 5 of the Perjury Act 1911 (c. 6) (false statements made

otherwise than on oath);

45

(g)   

section 44(2) of the Criminal Law (Consolidation) (Scotland)

Act 1995 (c. 39) (false statements made otherwise than on oath);

(h)   

Article 10 of the Perjury (Northern Ireland) Order 1979 (S.I.

1979/1714 (N.I. 19)).

 

 

 
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